4//SEC Filing
Goyal Vikas 4
Accession 0000899243-17-025508
CIK 0001701108other
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 4:06 PM ET
Size
22.2 KB
Accession
0000899243-17-025508
Insider Transaction Report
Form 4
Goyal Vikas
Director
Transactions
- Conversion
Common Stock
2017-11-06+244,147→ 244,147 total(indirect: See Footnote) - Conversion
Common Stock
2017-11-06+246,272→ 490,419 total(indirect: See Footnote) - Conversion
Common Stock
2017-11-06+328,992→ 819,411 total(indirect: See Footnote) - Conversion
Common Stock
2017-11-06+606,024→ 1,425,435 total(indirect: See Footnote) - Purchase
Common Stock
2017-11-06$14.00/sh+428,571$5,999,994→ 1,854,006 total(indirect: See Footnote) - Conversion
Junior preferred stock
2017-11-06−1,483,784→ 0 total(indirect: See Footnote)→ Common Stock (244,147 underlying) - Conversion
Series A preferred stock
2017-11-06−982,906→ 0 total(indirect: See Footnote)→ Common Stock (246,272 underlying) - Conversion
Series B preferred stock
2017-11-06−1,250,000→ 0 total(indirect: See Footnote)→ Common Stock (328,992 underlying) - Conversion
Series C preferred stock
2017-11-06−3,683,045→ 0 total(indirect: See Footnote)→ Common Stock (606,024 underlying)
Footnotes (3)
- [F1]Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
- [F2]Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date.
- [F3]S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
Documents
Issuer
Spero Therapeutics, Inc.
CIK 0001701108
Entity typeother
Related Parties
1- filerCIK 0001721017
Filing Metadata
- Form type
- 4
- Filed
- Nov 6, 7:00 PM ET
- Accepted
- Nov 7, 4:06 PM ET
- Size
- 22.2 KB